Understanding the 5G NR Physical Layer

November 1 st, 2017 Javier Campos NR Physical Architect RAN1 Delegate

You Will Learn 3GPP NR roadmap and releases Key differences between the physical layers of LTE and NR Key new technologies in NR physical layer Overview of the NR physical channels Most important new NR physical layer procedures Initial access and beamforming Beam management MIMO Bandwidth Parts Page 2

NR Key Technologies Waveforms and Frame Structure Scalable Numerology Numerology Multiplexing Dynamic TDD Low Latency Mini-Slots CBG Retransmissions Front-Loaded DMRS Millimeter Wave Beam-Sweeping Beam Management Massive MIMO Future Proof Forward Compatible Bandwidth Parts Reduced Always-On Signals No Fixed Time Relationship Between Channels Page 3

Contents 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary Page 4

Contents Page 5 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Enhanced Mobile Broadband (embb) Massive Machine Communication (mmtc) Ultra Reliability and Low Latency (URLLC) 3GPP NR Use Cases 3GPP NR Roadmap & Introduction 10-20 Gbps peak 100 Mbps whenever needed 10000x more traffic Macro and small cells Support for high mobility (500 km/h) Network energy saving by 100 times High density of devices (2x10 5-10 6 /km 2 ) Long range Low data rate (1-100 kbps) M2M ultra low cost 10 years battery Asynchronous access Ultra responsive <1 ms air interface latency 5 ms E2E latency Ultra reliable and available (99.9999%) Low to medium data rates (50 kbps - 10 Mbps) High speed mobility Page 6

3GPP NR Roadmap 3GPP NR Roadmap & Introduction 2015 2016 2017 2018 2019 2020 2021 3GPP Rel. 14 3GPP Rel. 15 3GPP Rel. 16 3GPP Rel. 17 & beyond SI: Channel Model SI: Scenarios and Requirements SI: 5G new RAT Early drop NR spec (acceleration plan) First 3GPP NR spec available WI: 5G new RAT (Phase 1) WI: 5G new RAT (Phase 2) Page 7

3GPP NR Rel-15 Scope 3GPP NR Roadmap & Introduction Acceleration of embb Non-Standalone mode by December 17 Standalone standardization dates as expected (June 18) Use cases: Enhanced Mobile Broadband (embb) Ultra Reliable Low Latency Communications (URLLC) Carrier aggregation operation Frequencies beyond 52.6 GHz Other types of waveforms mmtc Machine type communications Internetworking with non-3gpp systems (e.g. WiFi) Vehicular communications Multicast services and multimedia broadcast Unlicensed spectrum access Inter-RAT mobility between NR and E-UTRA P IN SCOPE X OUT OF SCOPE Page 8

NR Non-Stand Alone Mode 3GPP NR Roadmap & Introduction Specified by December 17 EPC Using LTE core network LTE enb always acts as a master NR gnb always acts as a slave CP+ UP UP LTE enb CP+ UP NR gnb Page 9

3GPP NR Rel-15 Roadmap 3GPP NR Roadmap & Introduction 3GPP Release 15 Roadmap RAN # 74 RAN # 75 RAN # 78 RAN # 80 (Rel-15 com plet ion) 2 0 1 6 2 0 1 7 2 0 1 8 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 NR Study Item NR Work Item NR NSA Com pletion NR SA Com pletion Further Evolution Page 10

3GPP RAN1 Rel-15 Roadmap 3GPP NR Roadmap & Introduction Rel-15 2 0 1 7 2 0 1 8 Rel-16 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Channel Coding/Modulation Sync/System Info. Broadcasting/Paging Random Access Channel/Procedure RRM Measurem ent L1/L2 Data/Control Channels Scheduling HARQ Procedures Rem aining Issues MIMO Tx Schem es Beam Managem ent and CSI RS Design and QCL NR-NR CA UR Part of URLLC Com plete PHY com m on for NSA and SA Rel-16 Study Item s Rel-16 Work Item s Page 11

Feature Down-Scoping 3GPP NR Roadmap & Introduction In the latest RAN #77 plenary meeting it was agreed to down-scope some of NR features for the December 17 release This is the complete list of dropped functionality: Duplexing - FDD half duplex MIMO - RS design for mini-slot beyond what is covered in December 17 - Multi-TRP/panel/beam transmission/reception at gnb for PDSCH/PUSCH Scheduling - Mini-slot based scheduling beyond what is covered in December 17 - Multi-TRP/panel/beam PDCCH - Transmit diversity for PUCCH (postponed to Release-16) - Simultaneous transmission of PUSCH and PUCCH NR CA/DC - NR-NR DC Page 12

NR L1 Specification Drafts 3GPP NR Roadmap & Introduction Spec Number Title Current Draft 38.201 General Description R1-1715069 38.202 Services Provided by the Physical R1-1714655 38.211 Physical Channels and Modulation R1-1718318 38.212 Multiplexing and Channel Coding R1-1719106 38.213 Physical Procedures for Control R1-1718782 38.214 Physical Procedures for Data R1-1718808 38.215 Physical Measurements R1-1719108 Page 13

Study Items for Rel-16 3GPP NR Roadmap & Introduction Study items starting in 2018: NR-based access to unlicensed spectrum Non-orthogonal multiple access for NR Evaluation methodology of new V2X use cases for LTE and NR NR to support non-terrestrial networks Integrated access and backhaul for NR Page 14

Contents Page 15 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Key Things to Learn Waveform, Numerology and Frame Structure Scalable numerology Implications to slot duration Implications to multiplexing of numerologies Inter-subcarrier spacing interference Slot based vs. non-slot based scheduling Use cases for non-slot (i.e. mini-slot) based scheduling Dynamic TDD How to indicate link direction? Page 16

Waveform Waveform, Numerology and Frame Structure Waveform (for embb/urllc and < 52.6 GHz) DL Waveform: CP-OFDM UL Waveform: CP-OFDM + DFT-s-OFDM - CP-OFDM targeted at high throughput scenarios - DFT-s-OFDM targeted at power limited scenarios Multiple Access Orthogonal Multiple Access Non-Orthogonal Multiple Access (NOMA) not supported in Rel-15 Bandwidth Maximum CC bandwidth is 400 MHz Maximum number of subcarriers is 3300-4096-FFT is needed This is from signaling point of view Allowed combinations to be decided by RAN4 Maximum number of CCs is 16 Page 17

Numerology Definition Waveform, Numerology and Frame Structure Scalable subcarrier spacing f = 2 μ 15 khz Parameters defining a numerology: Subcarrier spacing (i.e. µ parameter) Cyclic prefix (i.e. Normal/Extended) Sync < 6 GHz Sync > 6 GHz µ Δf = 2 µ 15 khz Cyclic Prefix 0 15 khz Normal 1 30 khz Normal 2 60 khz Normal, Extended 3 120 khz Normal 4 240 khz Normal 5 480 khz Normal Data < 6 GHz Data > 6 GHz Specified but not supported in Rel- 15 Page 18

Numerology Example (Normal CP) 0.5 m sec 320 288 4096 15 khz OFDM Sym bol 0 OFDM Sym bol 1 OFDM Sym bol 6 OFDM Sym bol 0 352 288 4096 30 khz 60 khz 416 288 0 1 2 3 12 13 0 1 4096 0 1 2 3 4 5 6 7... 24 25 26 27 0 1 2 3 544 288 4096 120 khz 0 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 4 8 4 9 5 0 5 1 5 2 5 3 5 4 5 5 0 1 2 3 4 5 6 7 Each symbol length (including CP) of 15 khz equals the sum of the corresponding 2 µ symbols at F s Other than the first OFMD symbol in every 0.5 ms, all symbols within 0.5 ms have the same length Page 19

Mixed Numerology Waveform, Numerology and Frame Structure Multiplexing different numerologies TDM and/or FDM for downlink and uplink Rel-15 NR UEs are not mandated to support simultaneous DL reception or UL transmission of multiple FDM physical channels (e.g. PDSCH, PDCCH, PUSCH, PUCCH) with different numerologies at the same time Two FDM use cases Use Case #1: Data/Data - Not supported in DL (for Rel-15) - Not supported in UL (for Rel-15) - Supported between DL and UL (i.e. different numerologies in DL and UL) Use Case #2: Data/Synchronization - Optional from UE point of view Page 20

Frame Structure Waveform, Numerology and Frame Structure Frame: 10 ms Subframe: Reference period of 1 ms Slot (slot based scheduling) 14 OFDM symbols One possible scheduling unit - Slot aggregation allowed Slot length scales with the subcarrier spacing - Slot length = 1 msτ 2 μ Mini-Slot (non-slot based scheduling) 7, 4 or 2 OFDM symbols Minimum scheduling unit 1 5 khz 3 0 khz 6 0 khz 1 2 0 khz SLOT SLOT 1 4 sym bols SLOT 1 4 sym 250 µs 1 4 s 125 µs 500 µs SUBFRAME 1 m s SLOT 1 4 sym bols 1 m s Page 21

Mini-Slot Use Cases Waveform, Numerology and Frame Structure Support of very low latency (i.e. part of URLLC) Support of finer TDM granularity of scheduling for the same/different UEs within a slot Especially if TRxP uses beam-sweeping (e.g. above 6GHz) NR-LTE co-existence (e.g. using LTE MBSFN subframes for NR) Forward compatibility towards unlicensed spectrum operation Page 22

Frame Structure Waveform, Numerology and Frame Structure Slots are numbered: n μ s 0,, N subframe,μ slot 1 within a subframe n μ s,f 0,, N frame,μ slot 1 within a frame OFDM Sym bol slot N symb... Slot... subframe, N slot Subfram e 1 m s frame, N slot 0 1 2 3 4 5 6 7 8 9 Fram e 10 subfram es 10 m s Page 23

Frame Structure Waveform, Numerology and Frame Structure Subcarrier Spacing (µ) Number of OFDM Symbols per Slot (N slot symb ) Number of Slots per Subframe (N slot subframe,μ ) Number of Slots per Frame frame,μ (N slot ) 0 15 khz 14 1 ms 1 1 slot x 1 ms = 1 ms 10 10 ms 1 30 khz 14 500 µs 2 2 slots x 500 µs = 1 ms 20 10 ms 2 60 khz (normal CP) 14 250 µs 4 4 slots x 250 µs = 1 ms 40 10 ms 2 60 khz (extended CP) 12 250 µs 4 4 slots x 250 µs = 1 ms 40 10 ms 3 120 khz 14 125 µs 8 8 slots x 125 µs = 1 ms 80 10 ms 4 240 khz 14 62.5 µs 16 16 slots x 62.5 µs = 1 ms 160 10 ms 5 480 khz 14 31.25 µs 32 32 slots x 31.25 µs = 1 ms 320 10 ms Page 24

Resource Grid Waveform, Numerology and Frame Structure Resource elements are grouped into Physical Resource Blocks (PRB) Each PRB consists of 12 subcarriers min,μ µ Δf N RB max,μ N RB 0 15 khz 20 275 1 30 khz 20 275 2 60 khz 20 275 3 120 khz 20 275 4 240 khz 20 138 5 480 khz 20 69 Page 25

Resource Grid Waveform, Numerology and Frame Structure subframe, N symb One subframe OFDM Symbols For each numerology and carrier, a resource grid of max,μ N RB N RB sc subcarriers and N subframe,μ symb OFDM symbols is defined...... k 0 The resource grids for all subcarrier spacing are overlapped subcarriers RB N subcarriers sc... 120 khz (µ = 3) 60 khz (µ = 2) PRB # 0 PRB # 0 PRB # 1 PRB # 1 PRB # 2 PRB # 3...... N N RB RB sc Resource Block... Resource Element (k, l) 30 khz (µ = 1) PRB # 0 PRB # 1 PRB # 2 PRB # 3 PRB # 4 PRB # 5 PRB # 6 PRB # 7... 15 khz (µ = 0) PRB # 0 PRB # 1 PRB # 2 PRB # 3 PRB # 4 PRB # 5 PRB # 6 PRB # 7 PRB # 8 PRB # 9 PRB # 10 PRB # 11 PRB # 12 PRB # 13 PRB # 14 PRB # 15......... k N max RB N sc l 0 l 14 2 1 RB 1 Page 26

Slot Structure Waveform, Numerology and Frame Structure A slot can be: All downlink DL DL only All uplink Mixed downlink and uplink UL UL only - Static, semi-static or dynamic DL Slot aggregation is supported Data transmission can be scheduled to span one or multiple slots DL Control UL UL Control Mixed UL-DL Page 27

Slot Format Indication Waveform, Numerology and Frame Structure Slot Format Indication informs the UE whether an OFDM symbol is Downlink, Uplink or Flexible SFI can indicate link direction over one or many slots (configured through RRC) The SFI carries an index to a pre-configured UE-specific table (configured through RRC) SFI can be either: Dynamic (i.e. through a DCI) - UE assumes there is no conflict between dynamic SFI and DCI DL/UL assignments Static or semi-static (i.e. through RRC) Page 28

Contents Page 30 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Key Things to Learn Initial Access and Beam Management Beam-sweeping How does the UE identifies the best beam to receive from the gnb? How does the gnb identifies the best beam to receive from the UE? Initial access How does beamforming affect the initial access procedure? Implications of beam-sweeping in the design of the initial access related signals Implications of the initial access design to NR-LTE coexistence Page 31

Initial Access Procedure Initial Access and Beam Management TRxP-Wide Coverage Beam-sweeping transmission Beam-sweeping transmission Synchronization Signals System Information Basic information for all UEs UE-Specific Coverage Beam-sweeping reception UE-specific selected beam Random Access Channel Random Access Response & System Information Required only for UEs after random access Single-beam or Beam-sweeping UE-specific beamforming Data and control channels Page 32

Beam-Sweeping and Initial Access Initial Access and Beam Management SS Block 1 SS Block 2 SS Block 3 SS Block 4 SS Block 5 Tim e Page 33

Beam-Sweeping and Initial Access Initial Access and Beam Management The UE identifies the SSB within the SS Burst Set by using: Part of the time index carried by the PBCH DMRS The rest of the SSB time index carried by the PBCH data The UE identifies the best SSB The UE transmits PRACH on a set of resources depending on the best SSB time index An association between an SSB in the SS Burst Set and a subset of PRACH resources and/or preamble indices is configured by a set of parameters in the system information The UE notifies the gnb with the best SSB by using the corresponding PRACH resource for that SSB Page 34

Beam-Sweeping and Initial Access Initial Access and Beam Management Mapping between DL SS Blocks and corresponding UL resources for PRACH DL SS Block 1 DL SS Block 2 DL SS Block 3 DL SS Block 4... UL 1 UL 2 UL 3 UL 4 TRxP Sam e Tx beam direction as in the DL Tx beam X P P Rx PSS, SSS and PBCH PRACH Transm ission UE Page 35

Remaining and Other System Information Initial Access and Beam Management Remaining Minimum System Information Minimum system information is carried onto PBCH The rest of the Remaining Minimum System Information (RMSI) is carried onto PDSCH The numerology used for RMSI is indicated in PBCH payload - < 6 GHz: 15 or 30 khz (60 khz cannot be used because it is optional for the UEs) - > 6 GHz: 60 or 120 khz A CORESET is dedicated for RMSI scheduling - Not necessarily confined within PBCH bandwidth - There is an RMSI PDCCH monitoring window associated with an SS/PBCH block, which recurs periodically. Other System Information On-Demand system information delivery Carried on PDSCH using the same numerology as the RMSI Page 36

Messages 1, 2, 3 and 4 Transmission Initial Access and Beam Management RAR window ( T RAR ) Tx PRACH (Msg 1) Rx PDCCH/ PDSCH (Msg 2) Tx PUCCH/ PUSCH (Msg 3) Rx PDCCH/ PDSCH (Msg 4) T 1 T 2 T 3 Successful Msg 1 & Msg 2 transm ission and reception Tx PUCCH/ PUSCH (Msg 3) T 3 Rx PDCCH/ PDSCH (Msg 4) T 4 Page 37

Messages 1, 2, 3 and 4 Transmission Initial Access and Beam Management Message Subcarrier Spacing Beam Message 1 UE -> gnb Indicated in the RACH configuration Beam for preamble transmission is selected by the UE UE uses the same beam during a RACH transmission occasion Page 38

Messages 1, 2, 3 and 4 Transmission Initial Access and Beam Management Message Subcarrier Spacing Beam Message 1 UE -> gnb Message 2 gnb -> UE Indicated in the RACH configuration The same as the numerology of RMSI Beam for preamble transmission is selected by the UE UE uses the same beam during a RACH transmission occasion Obtained based on the detected RACH preamble/resource and the corresponding association Page 39

Messages 1, 2, 3 and 4 Transmission Initial Access and Beam Management Message Subcarrier Spacing Beam Message 1 UE -> gnb Message 2 gnb -> UE Message 3 UE -> gnb Indicated in the RACH configuration The same as the numerology of RMSI Indicated in the RACH configuration separately from subcarrier spacing for message 1 Beam for preamble transmission is selected by the UE UE uses the same beam during a RACH transmission occasion Obtained based on the detected RACH preamble/resource and the corresponding association Determined by UE (same as message 1) Page 40

Messages 1, 2, 3 and 4 Transmission Initial Access and Beam Management Message Subcarrier Spacing Beam Message 1 UE -> gnb Message 2 gnb -> UE Message 3 UE -> gnb Message 4 gnb -> UE Indicated in the RACH configuration The same as the numerology of RMSI Indicated in the RACH configuration separately from subcarrier spacing for message 1 The same as message 2 Beam for preamble transmission is selected by the UE UE uses the same beam during a RACH transmission occasion Obtained based on the detected RACH preamble/resource and the corresponding association Determined by UE (same as message 1) No beam reporting in message 3: Same as message 2 Beam reporting in message 3: FFS Page 41

Beam Management Initial Access and Beam Management Beam management: acquire and maintain a set of TRxP(s) and/or UE beams that can be used for DL and UL transmission/reception Beam determination: for TRxP(s) or UE to select its own Tx/Rx beam(s) Beam measurement: for TRxP(s) or UE to measure characteristics of received beamformed signals Beam reporting: for UE to report information of beamformed signal(s) based on beam measurement Beam sweeping: operation of covering a spatial area, with beams transmitted and/or received during a time interval in a predetermined way Reference signals used for beam management: IDLE mode: PSS, SSS and PBCH DMRS (i.e. SSB) CONNECTED mode: CSI-RS (DL) and SRS (UL) Page 42

Multi-Beam Operation and FDM Initial Access and Beam Management Multiplexing of signals/channels using different beams (e.g. SS-Block and PDSCH) in multi-beam systems is not possible They may use different beams and the UE can only receive with a single beam at a given time (i.e. if the UE needs to measure a SSB it will not be able to receive PDSCH) UEs will not be mandated to support two simultaneous beams for release 15 Typical UE implementation in release 15 will have a single panel Page 43

Physical Channels and Signals Initial Access and Beam Management Initial access is composed of the following physical channels and signals: Downlink - Primary Synchronization Signal (PSS) - Secondary Synchronization Signal (SSS) - Physical Broadcast Channel (PBCH) Uplink - Physical Random Access Channel (PRACH) PSS, SSS and PBCH are the only always-on signals in New Radio Even them can be turned off by the network Page 44

General Definitions Initial Access and Beam Management SS Block -1 symbol PSS -1 symbol SSS -2 symbols PBCH SS Burst -One or multiple SS Block(s) SS Burst Set -One or multiple SS Burst(s) -Transmission is periodic (20 ms by default) -Confined within a 5 ms window SS Burst Set Periodicity (20 m s) SS Burst Set SS Burst SS Burst SS Burst SS Burst SS Block SS Block SS Block... SS Block SS Block SS Block SS Block... SS Block SS Block SS Block SS Block... SS Block... SS Block SS Block SS Block... SS Block 5 m s window (half-fram e) Page 45

SS Burst Set Definition Initial Access and Beam Management The transmission of SSBs within SS Burst Set is confined to a 5 ms window SS Burst Set transmission is periodic An IDLE UE assumes a default periodicity of 20 ms Multiple SSBs frequency locations can be defined within a wideband carrier The frequency location of a SSB does not need to be aligned to a PRB Number of possible candidate SSB locations (L) within SS Burst Set: Up to 3 GHz: L = 4 From 3 GHz to 6 GHz: L = 8 From 6 GHz to 52.6 GHz: L = 64 Page 46

SS Block Composition Initial Access and Beam Management 48 subcarriers (i.e. 4 PRBs) 144 subcarriers (i.e. 12 PRBs) 48 subcarriers (i.e. 4 PRBs) 127 subcarriers PSS 4 OFDM Sym bols PBCH PBCH SSS PBCH PBCH 240 subcarriers (i.e. 20 PRBs) Page 47

SS Block Mapping Location Initial Access and Beam Management SSB mapping locations for < 6 GHz: Each slot contains 2 SS block locations 1 m s 15 khz 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0.5 m s 30 khz 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0.5 m s 30 khz 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 Page 48

SS Block for LTE-NR Coexistence Initial Access and Beam Management For LTE-NR coexistence, 30 khz is mandatory to avoid collisions with the LTE C-RS LTE-NR coexistence requires minimum 10 MHz bandwidth The SS blocks which collide with LTE C-RS are not transmitted by gnb 1 m s 0.5 m s 30 khz 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 Page 49

SS Block Mapping Location Initial Access and Beam Management SSB mapping locations for > 6 GHz: 0.125 m s 240 khz 120 khz 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0.125 m s 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6 2 SS block locations in each slot 4 SS block locations in each two slots Page 50

SS Burst Set Composition Initial Access and Beam Management 5 m s window 15 khz (L = 4) 15 khz (L = 8) 30 khz (L = 4) 30 khz (L = 8) 120 khz (L = 64) 240 khz (L = 64) 0.5 m s Slot containing 2 SSblocks Set of two slots containing 4 SS-blocks 1 m s Slot containing 2 SSblocks Set of two slots containing 4 SS-blocks Page 51

SS Block Time Index Indication Initial Access and Beam Management 3 bits (b 2, b 1, b 0 ) of SSB time index are carried by changing the DMRS sequence within each 5 ms period Two cases for the rest of the SSB time index indication: > 6 GHz: 3 bits (b 5, b 4, b 3 ) are carried explicitly in PBCH payload < 6 GHz: No need for more bits (i.e. the 3 payload bits can be reused for other purposes) Page 52

Minimum System Bandwidth Initial Access and Beam Management The PSS, SSS and PBCH transmission define the minimum component carrier bandwidth: < 6GHz - 15 khz subcarrier spacing: 5 MHz - 30 khz subcarrier spacing: 10 MHz > 6 GHz Minimum bandwidth for LTE-NR coexistence - 120 khz subcarrier spacing: 50 MHz - 240 khz subcarrier spacing: 100 MHz The specification will fix a single SCS for each frequency band With the exception of some bands below 6 GHz for the LTE-NR coexistence scenario Page 53

PSS/SSS Definition Initial Access and Beam Management PSS/SSS sequence 8 subcarriers... 9 subcarriers... 0 1 6 7 8 9 10 132 133 134 135 136 142 143 frequency PSS/SSS sequence is mapped to consecutive 127 subcarriers Center frequency of PSS/SSS is aligned with center frequency of PBCH Page 54

PBCH Definition Initial Access and Beam Management Same antenna port as PSS and SSS in the same SSB Single antenna port transmission scheme PBCH TTI: 80 ms PBCH payload: 56 bits (including CRC) PBCH channel coding scheme: Polar Code Page 55

PBCH Resource Element Mapping Initial Access and Beam Management PBCH coded bits of the PBCH code block(s) are mapped across resource elements in PBCH Two scrambling operations: - 1 st scrambling Before CRC attachment Initialization based on Cell ID Sequence is partitioned in 4 non-overlapping portions - The portion is selected with the 2 nd and 3 rd LSB of SFN - 2 nd scrambling After encoding Initialization based on Cell ID Sequence is partitioned in 4 or 8 non-overlapping portions - The portion is selected with the 2 nd or 3 rd LSBs of the SS-Block time index m = (SFN / 2) % 4 n = (SSB tim e index) % 4 n = (SSB tim e index) % 8 PSS MIB bits 1 st Scrambling (m-portion) Scrambled bits Polar Coding Coded bits 2 nd Scrambling (n-portion) CRC Scram bled bits PBCH SSS PBCH Cell ID Cell ID Page 56

Random Access Preamble (PRACH) Initial Access and Beam Management PRACH sequence is Zadoff-Chu based Two different preamble lengths Long sequence (L = 839) - Only for < 6 GHz - Subcarrier spacing and bandwidth: 1.25 khz (1.25 MHz) and 5 khz (5 MHz) Short sequence (L = 139) - Intended for > 6 GHz (i.e. for beam-sweeping) - Can be used bot below and above 6 GHz - Subcarrier spacing and bandwidth: < 6 GHz: 15 khz (2.5 MHz) and 30 khz (5 MHz) > 6 GHz : 60 khz (10 MHz) and 120 khz (20 MHz) Page 57

PRACH Formats (Long Sequence) Initial Access and Beam Management 3 m s 1 m s Form at 0 1.25 khz CP SEQ GP Form at 1 1.25 khz CP SEQ SEQ GP Form at 3 5 khz CP SEQ SEQ SEQ SEQ GP Format Subcarrier Spacing Bandwidth N SEQ T SEQ T CP T GP Use Case 0 1.25 khz 1.08 MHz 1 24576 T s 3168 T s 2976 T s LTE refarming 1 1.25 khz 1.08 MHz 2 24576 T s 21024 T s 21984 T s Large cell 2 1.25 khz 1.08 MHz 4 24576 T s 4688 T s 29264 T s Large cell 3 5 khz 4.32 MHz 1 24576 T s 3168 T s 2976 T s High speed Page 58

PRACH Formats (Short Sequence) Initial Access and Beam Management Common time structure for all short sequence formats: CP SEQ # 0 SEQ # 1... SEQ # (N seq 1) GP T CP T SEQ T GP Page 59

A B C PRACH Formats (Short Sequence) Initial Access and Beam Management For 15 khz subcarrier spacing: Format N SEQ T CP T SEQ T GP Use Case 0 1 144 T s 0 T s TA is already known or very small cell 1 2 288 T s 0 T s Small cell 2 4 576 T s 0 T s Normal cell 3 6 864 T s 0 T s Normal cell 1 2 216 T s 72 T s Small cell 2 4 360 T s 2048 T s 216 T s Normal cell 3 6 504 T s 360 T s Normal cell 4 12 936 T s 792 T s Normal cell 0 1 1240 T s 1096 T s Normal cell 1 2 1384 T s 1096 T s Normal cell 2 4 2048 T s 2912 T s Normal cell Page 60

Contents Page 62 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Key Things to Learn Downlink and Uplink Channels Channel Coding Which channel coding schemes will be used? Implications of the channel coding schemes to the processing chain Downlink/Uplink Channels Channel state information report improvements How is the PDSCH/PUSCH design changed to achieve lower latency? How does URLLC traffic affect embb traffic? MIMO What are the differences between sub-6 GHz and mmwave bands with respect to MIMO? Page 63

Introduction to Downlink Downlink and Uplink Channels Downlink physical channels: Physical Broadcast channel (PBCH) Physical Downlink Control Channel (PDCCH) Physical Downlink Shared Channel (PDSCH) Downlink physical signals: Primary Synchronization Signal (PSS) Secondary Synchronization Signal (SSS) Channel State Information Reference Signal (CSI-RS) Tracking Reference Signal (TRS) PBCH, PSS and SSS already covered as part of Initial Access Page 64

PDCCH Downlink and Uplink Channels Carries DCI Modulation: QPSK RNTI is mask onto DCI CRC bits 1 PDCCH CCE = 6 REGs A REG is one PRB during one OFDM symbol One-port transmit diversity scheme with REG bundling per CCE (i.e. the same precoder is used for the REGs in a REG bundle) Page 65

PDCCH CORESET Downlink and Uplink Channels A control resource set (CORESET) is defined as a set of REGs under a given numerology Configured by UE-specific higher-layer signaling: Frequency-domain resources Starting OFDM symbol (OFDM symbol #0, #1 or #2) Time duration (maximum duration of 3 OFDM symbols) Frequency Resources Durat ion PDCCH CORESET One Slot (14 OFDM Sym bols) Starting symbol Page 66

Group-Common PDCCH Downlink and Uplink Channels PDCCH intended for a group of UEs Use cases: Dynamic Slot Format Indication (SFI) - Indicates slot related information for one or more slots from which the UE can derive at least which symbols in a slot are Downlink, Uplink and Flexible - The SFI carries an index to a UE-specific table (i.e. configured via RRC) Downlink Pre-Emption Indication (PI) - Transmitted in different DCI than SFI - Whether a UE needs to monitor preemption indication is configured by RRC signaling Page 67

PDSCH Downlink and Uplink Channels Carries user data Modulated symbols associated with a codeword mapped in the following order: Across layers associated with the codeword Across subcarriers Across OFDM symbols (i.e. time) PDSCH is rate-matched around transmitted SSBs and PDCCH/CORESET Modulations: QPSK, 16QAM, 64QAM and 256QAM Page 68

PDSCH DMRS Downlink and Uplink Channels Front-loaded DMRS symbols (can be either 1 or 2) are be located at: Slot based (DMRS mapping type A): Fixed OFDM symbol regardless of the PDSCH assignment - Configurable between l 0 = {2, 3} Non-slot based (DMRS mapping type B): First OFDM symbol assigned for PDSCH - i.e. Mini-slots Additional DMRS symbols can be configured (e.g. for high-speed scenarios) Additional symbols are always present for broadcast/multicast PDSCH Page 69

PDSCH Processing Chain Downlink and Uplink Channels codew ords... Scram bling Scram bling... Modulat ion Mapper Modulat ion Mapper... Mapper... layers Resource Elem ent Mapper Resource Elem ent Mapper... OFDM Signal Generat ion OFDM Signal Generat ion... ant enna port s DMRS Page 70

PDSCH embb and URLLC Multiplexing Downlink and Uplink Channels For downlink: Dynamic resources sharing between embb and low latency traffic is supported: - With pre-emption by scheduling the URLLC services on overlapping time/frequency resources - Without pre-emption by scheduling the embb and URLLC services on nonoverlapping time/frequency resources Support indication of time and/or frequency region of impacted embb resources to respective embb UE(s) - Done through group-common PDCCH Page 71

Downlink Pre-Emption Indication Downlink and Uplink Channels embb DL grant embb data URLLC data Pre-em pt ion indicat ion Opt. 1: In current slot Opt. 2: In subsequent slot embb slot A pre-em ption indication is not used to enable data re-decoding due to insufficient processing time for UE HARQ-ACK tim ing N 1 : Minim um UE processing tim e Page 72

CSI-RS and CSI Reports Downlink and Uplink Channels Use cases: CSI acquisition Beam management Two types of CSI feedback: Type I: NORMAL - Codebook-based PMI feedback with normal spatial resolution Type II: ENHANCED - Explicit feedback and/or codebook-based feedback with higher spatial resolution Category 1: Precoder feedback based on linear combination codebook Category 2: Covariance matrix feedback Category 3: Hybrid CSI feedback This feature in NR can outperform LTE under the same circumstances Page 73

TRS Downlink and Uplink Channels Use cases: Fine time tracking Fine frequency tracking Path delay spread and Doppler spread TRS is UE-specifically managed A TRS burst consists of four OFDM symbols in two consecutive slots Page 74

Introduction to Uplink Downlink and Uplink Channels Uplink physical channels: Physical Uplink Shared Channel (PUSCH) Physical Uplink Control Channel (PUCCH) Physical Random Access Channel (PRACH) Uplink physical signals: Sounding Reference Signal (SRS) PRACH already covered as part of Initial Access Page 75

PUSCH Downlink and Uplink Channels Carries user data and UCI (optional) Two waveforms: CP-OFDM: intended for MIMO DFT-s-OFDM: only used with single layer transmissions Modulated symbols associated with a codeword mapped in the following order: Across layers associated with the codeword Across subcarriers Across OFDM symbols (i.e. time) Intra-slot frequency hopping is supported for DFT-s-OFDM Page 76

PUSCH Downlink and Uplink Channels Modulations: CP-OFDM: QPSK, 16QAM, 64QAM and 256QAM DFT-s-OFDM: π/2-bpsk, 16QAM, 64QAM and 256QAM UL Transmission schemes: Scheme 1: Codebook-based Scheme 2: Non-codebook based for more than 2 ports Uplink Transmission can be: Grant-based (i.e. Grant delivered using DCI) Grant-free - Type 1: Only based on RRC configuration without any L1 signaling - Type 2: Based on RRC configuration and L1 signaling for activation/deactivation Page 77

PUSCH DMRS Downlink and Uplink Channels Difference depending on the waveform: CP-OFDM - Sequence: Gold sequence (i.e. as in PDSCH) DFT-s-OFDM - Sequence: Zadoff-Chu Front-loaded DMRS symbols (can be either 1 or 2) are be located at first OFDM symbol assigned for PUSCH Additional DMRS symbols can be configured (e.g. for high-speed scenarios) Page 78

PUSCH Processing Chain Downlink and Uplink Channels codew ords... Scram bling Scram bling... Modulation Mapper Modulation Mapper... Mapper... layers Precoding... ant enna port s Resource Elem ent Mapper Resource Elem ent Mapper... OFDM Signal Generation OFDM Signal Generation... CP-OFDM DMRS codew ord Scram bling Modulation Mapper Mapper... layers Transform Precoding Transform Precoding.. Precoding... ant enna port s Resource Elem ent Mapper Resource Elem ent Mapper... OFDM Signal Generation. DFT-s-OFDM OFDM Signal Generation... DMRS Page 79

PUCCH Downlink and Uplink Channels Carries UCI, HARQ-ACK and/or SR Two type of PUCCHs: Short PUCCH Long PUCCH PUCCH Format Length in OFDM Symbols Number of Bits 0 (SHORT) 1-2 2 1 (LONG) 4-14 2 2 (SHORT) 1-2 > 2 3 (LONG) 4-14 > 2, < N 4 (LONG) 4-14 > N Page 80

Short PUCCH Downlink and Uplink Channels 12 subcarriers PUCCH Sequence # 0 UCI = 00 PUCCH Sequence # 2 Format 0 ( 2 bits): PUCCH is based on sequence selection with low PAPR - Sequence length: 12 RE - Information is delivered by transmitting different sequences/codes Can transmit HARQ-ACK and SR y n = x j n M bit 1 j = i=0 b i 2 i PUCCH Sequence # 1 UCI = 01 UCI = 10 UCI = 11 PUCCH Sequence # 3 Format 2 (> 2 bits): DMRS mapped on REs {1, 4, 7, 10} for each PRB 1 PRB (12 subcarriers) DMRS sequence based on PUSCH UCI DMRS UCI DMRS UCI DMRS UCI DMRS UCI Contiguous PRB allocation Page 81

Long PUCCH Downlink and Uplink Channels Format 1 ( 2 bits): DMRS always occur in every other symbol in the long PUCCH d(0) X r u, v n BPSK and QPSK modulations Sequence length: 12 RE X X X w i (0) w i (1) w i (2) Modulated symbol is spread with a Zadoff-Chu sequence with OCC in the time domain y n = d 0 r u,υ α n 12 subcarriers DMRS UCI DMRS UCI DMRS UCI... z m N PUCCH seq + n = w i m y n Page 82

Long PUCCH Downlink and Uplink Channels Format 3 (> 2 bits, < N bits): Still to be agreed Format 4 (> N bits): Still to be agreed Long PUCCH can be configured with intra-slot hopping Long PUCCH can be configured to span over multiple slots In that case inter-slot hopping can be configured Page 83

Channel Coding Schemes Downlink and Uplink Channels Channel coding for embb: LDPC for embb physical data channels Polar Code for embb physical control channels Channel coding for PBCH: Polar Code - Same as for embb physical control channels Channel coding for other use cases (i.e. mmtc, URLLC): Not in Rel-15 scope Page 84

DL-SCH UL-SCH Transport Channel Coding Chains Downlink and Uplink Channels TrBlk Data Transport Block CRC Transport Block CRC Code-Block Segm entation TrBlk CRC Code-Block Segm entation Code-Block CRC Code-Block CRC Code-Block LDPC Channel Coding LDPC Channel Coding Code-Block CRC Rate Matching Coded Bits Int erleaver UCI Rate Matching Interleaver Rate Matched Bits Code-Block Concat enat ion Channel Coding Code-Block Concatenation Interleaved Bits Data and Control Multiplexing Concatenated Bits Page 85

CBG-Based Retransmissions Downlink and Uplink Channels It is possible to make retransmissions with a codeblock granularity Information included in the DCI: Which CBG(s) is/are (re)transmitted Which CBG(s) is/are handled differently for soft-buffer/harq combining - Combining If retransmission is caused by SNR, then combining of the soft-buffer will help improve decoding on retransmission - Flushing If the retransmitted codeblock was affected by preemption the buffer content is not correct and it is better to flush it rather than combining Code Block CRC Code Block Transport Block CRC Code Block Codeblock Segm entation CRC Codeblock Grouping Code Block Code Block Group Code Block Group... CDG... CRC CRC Page 86

HARQ Timing Definitions Downlink and Uplink Channels K 0 : Delay between DL grant and corresponding DL data (PDSCH) reception K 1 : Delay between DL data (PDSCH) reception and corresponding ACK/NACK transmission on UL K 2 : Delay between UL grant reception in DL and UL data (PUSCH) transmission K 3 : Delay between ACK/NACK reception in UL and corresponding retransmission of data (PDSCH) on DL K 0, K 1 and K 2 are indicated in the DCI If K 1 = 0 Self-contained slots (not mandatory to UEs) Page 87

MIMO Downlink and Uplink Channels NR supports the following number of codewords for DL and UL per UE: For 1 to 4-layer transmission: 1 codeword For 5 to 8-layer transmission: 2 codewords UEs are higher layer configured with 2 DMRS configurations for the front-loaded case in DL/UL CP-OFDM: Configuration 1: Supports up to 8 ports (SU-MIMO) - One or two OFDM symbols Configuration 2: Supports up to 12 ports (MU-MIMO) - One or two OFDM symbols Page 88

MIMO at Below-6 GHz and mmwave Downlink and Uplink Channels Deployment Scenario < 6 GHz mmwave Macro cells High user mobility Small cells Low user mobility Page 89

MIMO at Below-6 GHz and mmwave Downlink and Uplink Channels Deployment Scenario < 6 GHz mmwave Macro cells High user mobility Small cells Low user mobility MIMO Order Up to 8x8 Less MIMO order (typically 2x2) Number of Simultaneous Users Tens of users Large coverage area A few users Small coverage area Main Benefit Spatial multiplexing Beamforming for single user Channel Characteristics Rich multipath propagation A few propagation paths Page 93

Contents Page 97 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Key Things to Learn Bandwidth Parts Bandwidth part definition How are bandwidth parts configured? How are bandwidth parts activated/deactivated? Motivation for the introduction of bandwidth parts Why are bandwidth parts a great NR feature? Use cases for bandwidth parts Page 98

Bandwidth Part Definition Bandwidth Parts A bandwidth part consists of a group of contiguous PRBs The bandwidth part may or may not contain SS block Reserved resources can be configured within the bandwidth part Each bandwidth part (BWP) has its own numerology (i.e. cyclic prefix length and subcarrier spacing) An initial BWP is signaled by PBCH It contains CORESET and PDSCH for RMSI Page 99

Bandwidth Part Parameters Bandwidth Parts One or multiple bandwidth part configurations for each component carrier can be semistatically signaled to a UE Only one BWP in DL and one in UL is active at a given time instant Configuration parameters include: Numerology: CP type, subcarrier spacing Frequency location: the offset between BWP and a reference point is implicitly or explicitly indicated to UE based on common PRB index for a give numerology Bandwidth size: in terms of PRBs CORESET: required for each BWP configuration in case of single active DL bandwidth part for a given time instant Page 100

Bandwidth Part Operation Bandwidth Parts Definition of active BWP: A UE is only assumed to receive/transmit within active DL/UL bandwidth part using the associated numerology UE expects at least one DL bandwidth part and one UL bandwidth part being active - A UE can assume that PDSCH and corresponding PDCCH (PDCCH carrying scheduling assignment for the PDSCH) are transmitted within the same BWP BWP activation/deactivation: Activation by dedicated RRC signaling Activation/deactivation by DCI with explicit indication Activation/deactivation by a timer for a UE to switch its active DL bandwidth part to a default DL bandwidth part Page 101

Example of Bandwidth Part Operation Bandwidth Parts PCell BWP RRC-layer config BWP switch by DCI BWP switch by DCI BWP # 1 BWP # 1 BWP config for PCell BWP # 1 BWP # 2 Init ial BWP SSB BWP # 2 BWP config for SCell SCell BWP # 1 BWP # 2 BWP # 2 BWP # 1 BWP # 1 Scell Activation BWP switch by DCI BWP switch by DCI CONNECTED Initial Access Single Activated Cell Multiple Activated Cells Page 102

Bandwidth Part Use Cases Bandwidth Parts 1) Supporting reduced UE bandwidth capability 2) Supporting reduced UE energy consumption Overall carrier Overall carrier BWP # 2 BWP BWP # 1 3) Supporting FDM of different numerologies Overall carrier BWP # 1 (num erology # 1) BWP # 2 (num erology # 2) Page 103

Bandwidth Part Use Cases Bandwidth Parts 4) Supporting non-contiguous spectrum 5) Supporting forward compatibility Overall carrier Overall carrier? BWP # 1 BWP # 2 Som ething com pletely unknown BWP Som ething new and not yet defined Page 104

Contents Page 106 3GPP NR Introduction & Roadmap Waveform, Numerology and Frame Structure Initial Access and Beam Management Downlink and Uplink Channels Bandwidth Parts Summary

Summary NR introduced on Release-15 December 17 release: - Only for NSA - embb and low latency aspects of URLLC - Only essential features June 18 release: - Final Release-15 delivery - NSA and SA connectivity scenarios - Rest of features Study for Release-16 to start on 2018 Future-proof and forward-compatible Page 107

LTE vs. NR Comparison Summary Maximum Bandwidth (per CC) 20 MHz LTE New Radio 50 MHz (@ 15 khz), 100 MHz (@ 30 khz), 200 MHz (@ 60 khz), 400 MHz (@120 khz) Maximum CCs 5 (currently) 16 (allowed BW and CCs combinations TBD) Subcarrier Spacing 15 khz 2 n 15 khz TDM and FDM multiplexing Waveform CP-OFDM for DL; SC-FDMA for UL CP-OFDM for DL; CP-OFDM and DFT-s-OFDM for UL Maximum Number of Subcarriers 1200 3300 Subframe Length 1 ms (moving to 0.5 ms) 1 ms Latency (Air Interface) 10 ms (moving to 5 ms) 1 ms Slot Length 7 symbols in 500 µs 14 symbols (duration depends on subcarrier spacing) 2, 4 and 7 symbols for mini-slots Channel Coding Turbo Code (data); TBCC (control) Polar Codes (control); LDPC (data) Initial Access No beamforming Beamforming MIMO 8x8 8x8 Reference signals UE Specific DMRS and Cell Specific RS Front-loaded DMRS (UE-specific) Duplexing FDD, Static TDD FDD, Static TDD, Dynamic TDD Page 108

NR Key Technologies Summary Waveforms and Frame Structure Scalable Numerology Numerology Multiplexing Dynamic TDD Low Latency Mini-Slots CBG Retransmissions Front-Loaded DMRS Millimeter Wave Beam-Sweeping Beam Management Massive MIMO Future Proof Forward Compatible Bandwidth Parts Reduced Always-On Signals No Fixed Time Relationship Between Channels Page 109

Links Summary 3GPP Webpage (www.3gpp.org) 3GPP RAN1 Documents (www.3gpp.org/ftp/tsg_ran/wg1_rl1) The METIS 2020 Project (www.metis2020.com) The 3G4G Blog (blog.3g4g.co.uk) Keysight Solutions (www.keysight.com/find/5g) Page 110

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